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Judicial Watch • Gene E. Pratter – 2009

Gene E. Pratter – 2009

Gene E. Pratter – 2009

Page 1: Gene E. Pratter – 2009

Category:Federal Judges

Number of Pages:20

Date Created:September 13, 2013

Date Uploaded to the Library:December 06, 2014

Tags:Overseas, Gene E Pratter, Short, Brokerage, Janus, Equity, Small, International, Growth, Retirement, trust, 2009, dividend, disclosure, report, Federal Judge, financial, income, Judge

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oI0 Government Act o]t 97,~ 
Rev. 1/2010 	FOR CALENDAR YEAR 2009 ~.~ U.S.C. app. ,~,~ lOt-lit) Person Reporting (last name. first, middle miltal) Court Organization Date Report Pratter, Gene U.S~Dislrict Court, E.D. Pa. 
03/3012010 Title {Arliclc ill judges indicate acti,c senior status: 	5a. Report Type I.heck approprialc lypc~. Reporting Period magis~ate judges indkatc thll- t~r pa~t-ti~nc) 
~-] Nomiuahon, Date 01/01i2009 
U.S. Dislrict Judge Initial 12/31/2009 Chambers Office Addres~ lbe ba~s the information contained this Re~rt ~nd any 
modifications perlaining ffierel~, is, opinion, compliance 
76~4 Untied States Courthouse ~ith applicable la~*~ and rcgulallon~. 
Sixth Markel Streets 
Philadelphia, 19106-1752 Reviewing Officer 
IMPORTANT NOTES: The instructions accompanying this form must fotloned, Complete all parts, checking the NONE box for each part where you have reprotable information, Sign Io_~tpage. POSITIONS. ~s.p...i.g 
V--] NONE (No reportable positions.) POSITION NAME ORGAN1ZAT1ON,ENTITY Co-Tntstee 	Trust 
NONE (No reportable agreemenrs.] 
Pratter, Gene 
N.ame Person Reporting 	D~fe Repor~ Filers Non-lnvestmen! Income 
--] NONE (No reportable non-investment income.) 
DATE 	~OURCE AND TYPE INCOM (yours, not spouses) 
 2009 	Univcrsity Pcm~sylvama Law School (Adiunct Protbssor) $10,000.00 Spouses Non-] nvestment Income ~/.~,,, were married during any portion ~,f the reporting year. ~Oml, lel thi,~ section. 
~--~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE 2009 	Commonwealth Pennsylvania (Executive Deputy General Counsel) 
VI. LIABILITIES. a.~z~,, t~,,,.~,.,,j,p ......... depeud,,,, childre,,: .*ee pp. 32-3_~ ,~ff!ling inslructi,,n.~.l [~] NONE (No reportable lial~ilities.) CREDITOR D~SCRIPTION Bank America Crccht Card ,o,. VALUE CODE 
~ame o~~,s,~ ~pe~t~.~ NANCIAL DISCLOSU POllT 
NONE report~tble incon~e, assets, transactions.) 
...... Descriplion As~cts (including ~sl as~ts Place 1X) tier each asset exe)npt from prior d~sclosure Income du~g rept~tling peri~ (1~ (2) Amotmt Type (c.g.C()de div, rent. (A-H) int.) (, Gro~s value end rcp~rling (1~ (2) Value Value (St)de Meth~ ~J-P) Code (Q-W) (t) Fy~ (e.g., buy, sell. ~edemplion) Transactions during reposing per~ (2) 13i (4) Date Value Gain nm)/d~yy C~e C~e (J-P) (A-H) (5) ldel]ti~, buyerlseller 0fprtvale transacno~)) V~ard Total Bond Market Index Retirement Vanguard Tolal Bond Market Index Retirement Vanguard Total Bond Market lndcxRet~ement Dividend Ntme None Buy (addl} Buy (addIt Sold 5109 4/t5/09 2~27/09 Vanguard Total Bond Market Index -Retiremen~ None Sold 5!1/09 V~guard Index 500 Rctiren~enl Vang~rd Index 5~) Retiremenl Vanguard Index 500 Retiren~enl Vanguard Index 500 Rctiren,e**t Dividend None None None Buy (addl} Bny (addIt Sold (part} Sold 1/15/09 4/15/09 2/27/09 5/1109 
9. I0. 11. Vanguard Windsor Retiremcn~ Vangnard Windsor Retirement Vangaurd Windsor Retirement None None None Buy(addlj Buy (addl) Sold 1/15/09 4/15/O9 2/27/09 
12. Vanguard Windsor Retirement None Sold 5/1/09 14. Vanguard International Growlh etircmeol~2 Vat,guard tnte~ational (}torah Rctiremcn~ None Nmlc Buy (addIt Buy 1/15/09 4~15/09 
15. 16. Va~lsuard h~tematiot~al Growth Rctircn~cnt Vanganrd Inlemational Growth Ret~remenl None None Sold (pa~) Sold 2/27/09 5il/09 Ad~a Harness Small Growth Rctircme~,~ None 
VII. INVESTMENTS TRUSTS .......... ~a~,saction.~ Hnctudes those ........ depend ..... hittite,,: see pp. 34-60 o[fili,,g 
NONE (No reportable income, assets, tr~msoctiot~s,) Dc~riplion Asscls (including ~ms~ ~sets) Place (X) after each ;~ssel cxcmpl from prior disclosure Income during rcpt, rlh~g peri~ (1~ ~2) Amount lype ~c.g.. Code div. rent. IA-H~ intA Gro~s value end rep~rting pcfud II~ 12) Value Value Code Method O-P~ C~e3 (I) Iy~ (c.g,, buy. selL. redemption) Traasacdons duriog rc~i~g pcr~ ~2) 13) (4) Date Value Gait~ am~,t (L~ C~Me Ct~e (I-P) (A-II) (5) Ide~t~ly buycl,~ller (if private 
18. DFA Small Cap Value Retiremenl Divideud 
19. DFA Large Cap Value Rctiremenl I)ivide~d 
20. Federated Govq Rctircmc~t Dividend First Eagle Overseas Retirement 115 D~vidcnd 
22. Jam~s Fund Retirement Dividend 
23. Janm Overse~- Retirement Dividend 
24. Schwab Money Mark~ Retiremem Dividend 
25. Westcore MI~O Growth Retirement No~e 26. Jan~ M~d Cap Value Rc~ircmcm D~vidcnd 
27. 28. William Blair fml Small Growth Retirement Federated Govt Rclirement None D~vidend 
29. Baron Growth- Retirement Dividend Fi~ Eagle Overseas Retircmcn~ Dividend 
31. Royce Opportunity Rct~reme~ Dividend Schwab Money Market Rcti~mcnt D~wtlcnd 
33. Tho~nburg Value- Retirement Dividend 
34. J~tl8 Overseas Retirement Dividend 
VII. INVESTMENTS and TRUSTS -~,, .......... ,a,,~., 
NONE (No reportable income, assets, trctnsactions.) (, 
(including tm.~l assets) reporting period reporting ~riud 
Place (X) after each asset excmpl t~o~n prior disclosure Amounl Code IA-H~ Type (c.g, div.. rent. int.) Value C~]c ~J-P} Value Meth~ (ode (Q-W) Type (e,g., buy. sell, redemption~ Date mm.,df~ Value C(~e (J-p) Gain C~e (A-H) idcnli~ buyer/~llcr (if private 
35. Jan~ Fund Retirement Dividend 
36. Sound Shore Retirement Dividend 
37. Third Avenue ln,l Value Retirement Dividend 
38. Baron Growlh Reliremcnt 39. Brandywine- Retirement Dividend N~,ne Sold ~part} 5/13/09 
40. DFA Micro Cap- Retirement 41. DFA Emerging Markets Core Equity -Retiremen~ 42. DFA Emerging Markets (7ore F.quity Retire~rtent 43. DFA httcmational Small Vahte Retirement Dividend Dividend None Dividend Sold ~part~ Sold (part) Sold (part) 9/29/09 5/13/09 9!29/09 
44. DFA Inlernalional Value- Retirentem 45. DFA One Year Fixed- Rettrcmem 46. DFA One Year Fixed- Retirement 47. DFA Smart Cap Vah~e Retircmem D~vidend Dividend None Divhlend Sold (part) Sold Ipart) Buy (addl) 9/29./09 7/30/09 9/29/09 
48. DFA Large Cap Valne Retireme~t 49. DFA Real Estale Sccurilics Retirement Dividend Dividend Sold (part) Buy 5!13/09 5!13/09 
50. 51. Dodge Cox Sto~k Relirement Dodge Cox Stock Relircmcnt ~7 D,vidcnd Noz]e Sold (par0 Sold (pan) 5/15:09 9/29/09 .... ..... Reporting 
VII. INVESTMENTS and TRUSTS ............ ~.,. .......... 
ri,,n~ gto,ct,~a~.~ thase NONE (No reportable income, assets, trmsactions.) 
................... ...... ........... 
Description Assets Income duri~lg Gro~ value end Transactions duriug reposing period 
(inck~ding tnlst ~sets) reporting per~ o~ re~tng period 
(I) (2) ~1) (2) (1) (2) (3) (41 (5)Place (X) al~er eah Amoum Fype (.~., Value Value Type ~e.g.. Dale, Value Gab* Identity 
excmp~ from prior disclosure 	Code div, re~l, C*)de Method 
~A-H) ~nl.) O-P) 	(~ redemplion~ (J-P) (A-H) (if private 
~Q-W~ 	wa~aclion) 
Federated Govt Retirement Dividend Buy 9/29/09 
First Eagle Overseas Retirement Dividend 	Sold 5/13/09 (pan) 
Hotchkis Wiley Mid Cap Value Dividend 	Sold 5/13/09 
55. 	Hotchkis Wiley Mid Cap Value- 
None 	Sold 9/29/09 BRetiremen~ (pan) 
Anio International Equip Retirement Dividend 
Morgan Stanlev International Equity Dividend 
5~. 	Morgan Stanley Emergiog Markels Divklcnd Sold 5/13/09 
59. 	Royce Micro Cap Retirement Dividend 
60. 	Royce Opportunity Retirement Dividend 	Sold 5/I 3/09 ~pan) 	Royce Opportunily Retirement Nooe Sold 9/29/09 
Schwab Money Market Reti~ment 
62. Dividend 
Westcore Inlernational Frontier- Retiremen~ Dividend 	Sold 9/29~09 (part) 
6-I. Westcore Mid Cap Value Refireme~t Dividend Sold 9i29/I)9 
665. 	Westcor~ MIIXO Grt~wth Rctiretnent 
No~e ~..! 
 	William Blair International Growth Dividend gold 9,29/09 
67. 	Janus Fund Retirement Dividend 5/13/09 .... 
(parl)Sld Dividend 5,13/09 
.68 Janus Overseas Retirement .... ..... Reportin.g 	Da,e Report 
VII. INVESTMENTS and TRUSTS -i. .......... ~,,. .......,i~, ~t.~t,,a,, t~o.,~ ols~ ...... depend~nt children: see pp. 34-60 qfiting 
NONE (No r~ortable income, assez~, transactions.) t. ........ ........... 
~scriplion Assels Income darin8 Gross value end Trm~sactio~ during re~in (including t~sl rescuing ~ri~ o~reporting peri~ 
iI~ (2} {i) (2) (I) (2) ~31 (41 (5) Place (Xt afi~ each as~t Amottt~l Type fc.8.. Value Value Yype (e,g,. Date Value Gain Idcnli~ eaempt from prior disclosure Code div.. rent. Code Method buy. ~11, nm~/ddt~ C~e C~e buyer/seller 
IA-I[) int.) [J-P) (~e r~emption) (J-P) (A-H) (Jrprivate 
Jan~ Over,as Relirement None Sold 9/29/09 
Hotchkis Wiley Lurge Cap Value Dividend 
Ret~menl Royce Value PI~ Retirement None 	Sold 
5/t 3/09 
7~. Royce Value Plus ~etir~ment Notre 	Sold 9/29/09 (pan) 
Third Avenue International Value Dividend Sold 5113109 
Third Avenue International Value-None 
Sold 9/29109 
Refi~ment 	(pa~) 
75. 	Tum~ Core G~wth- Retiremeot Dividend Sold 5/13/09 (part) 
76. 	William Blair Large Gro~h Retirement No~e 
77. 	Schwab Value Advantage Retirement Dividend 
Sold 4/30/09 (part) 
7g. Schwab Value Advantage Retirement None 	Sold 7/30/09 
79. 	Adams ltarkness Small Growth- Retiremeo~ 
~0. 	William Blair lntl Small Growth Dividend Retirement 
Metropolitata West Total Return Dividend 	Buy 5/13/09 
Metropolitan West Total Ren~rn 
None 	Buy 7/30/09 MRetirement (addl) 
83. Metropofitan West Total Return -Nooc 	Buy 9!29!09 
BlackRock Low Duration Retiremeut Dtvideod Buy 4/30/09 
BlackRock Low Duration Retiremen~ None Buy 7/30/09 (addl) ..... .... Reporting 	DateufRepor! lI. INVESTMENTS and RUSTS .......... ~,~. ~ra,,SactiOnS (Includes those qsp ...... dependent ,.kildrru: seepp. 34-~0 of~ding instructions.) NONE (No reportable income, assets, transactions.) BC. 
D~ri~tion tff Assets Income daria~ Gross v~[uc end Trao~ctions duriug repo~in8 ~ri~ (ml~ing tn~sl ~se~s) repo~i~g per~ re~ing period 
Place {Ky after each asset Amount ly~ le.g.. Value Value Ty~ (e.g.. Date VMu Gain ldcnlity exempl from prior disclosure Code div, rent. Ct~e Melhod buy, sell, IA-It} int.) O-P) redemplion) ~J-P) (A-H) (if private (Q-W) tmnsactioo~ 
BlackRock Low Duration Retirement None Buy 9/30/09 
Schwab Money Market Trust Divide~d 
Dodge Cox Stock Trust Dividend 
Schroder Shut, Term Mtmi Trust Dividend 	Sold 12/17/09 
Baron Growth- Trust Dividend 
Federated Short Term Muni Trust Dividend Buy 9/15/I)9 
First Eagle Overseas Trust Dividei~d 
Hotchkis Wiley Large Cap Value Trust Dividend 
Hotchkis Wiley Mid Cap Va]ttc Trusl Di,~ldcnd 
Janus Fund Trust Dividend Janus Overseas Ttatst Dividend 
97. Ar~io haemational Equity Trust Dividend Morgan Stanley lntematioual Equi~ Trust Dividend 
Morgan Stanley Emerging Markets Frost ., Dividend 
Royce Opportunity Trust Dividend Turner Core Growth Tnast Dividend 
102. 	Westcore Mid Cap Value Trust Dividend 
Name Person Reporting 	Dale Report 
NONE (No reportable income, assets, transactions.) ....... 
Description Assets hlcomc during Gross value end Trmtsacrions duril~g 
0ncluding tmsl rc~cting peri~ ofrepotling period 
Place ~X) a~er ezch asset Amotmt Type ~c.g.. Vatuc Value Ty~ le.g., D~e Value Gala Identity exempt from p6or disclosure div. rent. (N~de Method buy, ~1, nm~d~~ C~e C~e buyer!seller 
C~e A-H) int.l O-P) Ct~e redemp~ionl (J-P) ~A-H) (if private ~Q-W) ~ansactmn) 
10Y 	Westcore MIDCO Growth T~sl None 
~04. 	DFA Tax Managed Markctwide Value Dividend 
 DFA Micro Cap T~st Dividend 
Third Avenne InlernationM Value T~st Dividend 
Westcorelmernationat Frotttier-Trust .. Dividend 
DFA lrttl Value- Trust Dividend 
109. 	DFA Small Value Trust Dividend 	Turner Small Cap Equity -lms~ Nooe 11. 	William Blair Mid Growth Trusl No,~c Buy 9115/09 
112. 	DFA Short Ten~ Muni Trust Dividend Buy 5/13/09 
113 DFA Short Term Mttm- Trust None Buy ~-~/l 5/119 {addl} 
11,1. 	Metropolitan West Total Return Trust )tl Dividend Buy 7/30109 t5. 	Ban)n Growth Brokerage Dividend 	Sold t/18/09 (part) 
116. DFA Tax Mgd Marketwide Value l)ivtdend Sold 1/18/09 ABrokerage 
(parO DFA bS Small vahtc Brokerage Dividend Buy 5/13/09 
DFA Small Vah~e Brokerage 
DFA Emerging Markets (:ore Equity Dividend Sold 9;29/09 
None 	Sokt 9~9/09 (part) 
Brokerage Ipart) 
Sam, o~P .... Repartiag 	DateofReport ONE (No reportable income, assets, trunsactions.) 
............... ................ ............ 
~scrip~ion Assc~s l~comc during (}ross value end Transactions du~ing reposing pcri~ (including ~s~ ~sscls) reporting peri~ rep~ing period 
(I) ~21 (11 (2) (I) (2) ~3~ (4) (5) .... 
Pla~ (X} afle~ e~h asset Amouut Type (e.g., Value V~lue Type (e.g., Date Value Gaiu Idcnti~ exempt flora prior disclosure div, rein. Code Methvd buy, sell mmMdyy 
Code ~A-[l~ int.) (J-P C~e3 redemption) (J-P) (A-H) (ifpnvar~ (~Wt ~nsaction~ 
DFA Emerging Markets Core Equity None Sold 1/18/09 
DFA Tax Mgd lfitema~ional Value Dividend 
East River Ba~k St~k Brokerage None 23. 	Federated Short Term Muni Brokerage Dividend Buy 4/30/09 
Federated Sheet Term Mtmi Brokerage None Buy 5/13.09 
First Eagle Overseas Brokerage Dividend 
Janus Fund Brokerage//I Dividend 
Janus Overseas -Brokerage DivMend Sold 11120/09 
Janus Mid Cap Value Brokerage Dividend So{d 9/29/09 (part) 
Arlio Intematioanl Equh) Brokerage D,vidend 
130 	Morgan Stanley lniematioual Equiw Dividend Buy 5!13109 Brokerage (addl) 
131. Morgan Stanley International Equity -None 	Sold 9!29/09 
Brokerage part) 
Schwab Money Market Brokerage/1 Dividend 
Sound Shoce Brokerage Dividend 
Wcstcore MIDCO Gro,~th Brokerage None Sold I!I 8/119 (part) 
Schroder Short Term Muni Brokerage Dividend Sold 12./17/09 
Hotchkis Wiley L:trt,,e Cap Value Dividend Brokerage ..... ..... a~porti.~ NONE (No reportable income, assets, transactions.) 
.... Description Assets Iacom during ..................... ............... Gross value end Transactions during repomng 
(~cluding tnlst ~ts) reporling peri~t rep~=ling peri~ 
~iace (x)at~er each asset exempl from prior disclosure (~) Amount Code (A-t.I) (2) Type c.~., div rcnL int) Vaiuc Code (.I-P) ~2) Value Meth~ (ode (~) ~y~ (e,g., buy. sell redemption) (2) (3~ (4) Date Value Gain n~d~ C~e C~e O-P) (A-H) (5) Identity buyer/sdler (itpovare 
137. Horchkis Wiley Mid Cap Value Dividend 
138. Royce Valu~ Plus Brokerage ::1 None 
139~ Third Avenue International Value Dividend 
140. Thomburg lnll Value- Brokerage Divktend 
141. William Blair lntq Small Growth Brokerage Dividend Buy (addl) 5.:13/09 
142. Wcstcore lntematkmal Frontier- Brokerage Dividend Sold (part) 1/18/09 
143. William Blair Large Growth -Brokerage Dividend Buy 5/13/09 
144. Witliara Blair Large Growth Brokerage None Sold I/t8/09 
145. William Blair Mid Growth Brokerage None Buy 5/13/09 
i~16. William Blair Small Growth Brokerage None Buy 5/I 3/09 
147. Westcore Mid Cap Value Brokerage Dividend Buy 5/13/09 
148. DFA [nll Small Value Brokerage Dividend Buy 5113109 
149. DFA Short Term Muni Brokerage ~/t Dividend Buy 4/30/09 
150. DFA Short Term Moni Brokerage Nol)e Buy 5113t09 
151. DFA Short Term Mu~)i Brokerage None Sold 10/21/I)9 
152. Metropolitan West Total Return Brokreage Dividend Buy 7/30709 
153. Metropolitan West Total Retain Brokerage None Buy (add]) 9/29:09 
Name Person Reportiog 	Date Repot! 
NONE (No reportable income, assets, transactions.) ~~ ............. ............... 
De~nption Assels Income duriug Gross value end Trm~ac6o~s during repoamg peri~ 0nduding m~sl :~sets) reporting ~ri~ re~rlmgl~ri~ ~1~ t2) ~(~ ~2) (~) ~3~ (4) (5~ Place (X) after each asset Amotua ly~ (e.g. Value Valttc Yy~ (e.g., Date Value Gain Idcnti~ exempt from p~or disclosure Code div.. C~e Meth~ boy. sell, nmxld~ U~Me Crate buyerlsefler[A-H~ int.J J-P) Code redemptionl (J-P) (A-Hi (if private 
Baron Growth Broke=ge Dividend Donated (paa) 
DFA Micro Cap Brokerage Dividend 
DFA Tax Mgd Marketwidc Value Dividcad 
DFA [JS Small Value Brokerage Dividend 
DFA Tax Mgd lntl Value Brokerage Dividend 
Dodge Cox Stock Brokerage it2 Dividend 
i60. Federated Short Term Muni Brokerage r2 Dividend Buy 4t30/09 (addl) 
i61. Federated Short Term Muoi Brokerage Noue Buy 5/13/09 (addl) 
First Eagle Overseas Brokcragc Dividend 
Hotchkis Wiley Large Cap Value Diwdend Brokerage 
Hotchkis Wiley Mid Cap Value Divider~d 	Sold 9/29/09 ABrokerage//2 
165. Janus Fund Brokerage//2 Dividend 	Sold 9/29/09 part) 
 Janus Fund Brokerage 
None Donated (pact} 
 Janus Overseas Brokerage ,~2 Dividend 	Sold 9/29~09 (part) 
Janl.ts Overseas Brokerage None 
Donated (part} 
Arlio International Equity Brokerage Dwidend Donated (part) 
Morgan Stanley lntcntational Equity-Dividend 
Brokerage/t2 NONE (No reportable income, assets, transactio~is.) ~scliplion ASSets (including ml,~l asseL~) Inco~nc during ~epor~ing period Gross value end re~rling p~riud Transactions during ~ing ~riod 
Place (X) after each as~t exempt froJn prior disclosure Amount Code eA-H~ .Ty~ (e.g.. div. rent. intJ Value Ct~Ie O-P) V~h~ Mctht~ Code {Q-W) Type (e.g., buy, sell, r~emplion) Dat~.~ Value mnxid~L)~ (J-P) GMn C~c (A-H) identity buyerlseller (if private transacnon) 
171. 172. Morgan Slanley Emerging Markets Brokerage ~oyce Oppo~nity Brokerag~ Dividend Dividend Sold 9129109 73. Royc~ Oppo~nity Brokcxa~c None Donated 
174. Schwab Money Market Brokerage Divideud 
175. Schwab Muni Value Advantage Brokerage Dividend Sold 4/30109 
176. Schroder Short Term Muni Brokerage :,~2 Dividend Sold IZ/17/09 
177. Third Avenue International Value Brokerage Dividend 
178. Turner Core Growth Brokerage Dividend 
179. Turner Small Cap Equity Brokerage None 
180. Westcore Mid Cap Value Brokerage Dividend 
181. Weslcore MIDCO Growth Brokerage None 
lg2. Westcore International Frontier-Brokerage 183. Metropolitan West Tota! Retarn Flrokerage#2 Dividend Dividend Buy 7130/09 
184. Metropolitan West Total Return Brokerage 185. Metropolitan West Total Return Brokerage~2 186. DFA Short Term Mtmi Brokerage No,~e None Diwdend Buy (addl} Buy (addl} Buy 9/15/09 9/29/09 4/30109 
187. DFA Short Term Muni Brokerage None Buy (addl) 9/29/09 
NONE (No reportable income, assets, transaction.s.) De~riplion Assets (il~luding mtst ~sets) Place X) after each asse~ e~cmpt from pour dtsciosurc Income dudn8 ~epofflng ~ri~ (~) ~2) Amount Ty~ (e.g.,Ct~e div, rent. (A-H int) ............. (irOns value end ~freptnti~tg i~riod ~2) Value Value Code Mctlu~ IJ-P (Q-W) (1) Ty~ ~e.g., buy, ~11, ............... Transactio~ during ~aing peri~ (2) ~3) (4~Date  Value Gain nmvd~~ C~e C~ (5) Identity buyer/seller t~nsactiou} 
188. DFA One Year Fixed Retirement 189. DFA One Year Fixed Retirement 190, Federated Govt Retirement D~vidend None Dividend Sold (part) Buy (addl) Sold 7130/09 9/29/09 4/30/09 
191. Adams Harness Small Growth Retirement None 
192_ Baron Growth- Refirem~m Dividend 
~193. B~and~ine Fund Retiremem None 
194. DFA Emerging Markets Core Equity Retirement 195. DFA Emerging Markets Core Equity Retirenteot 196. DFA International Value Retircmem 197. DFA l,arge Value Retirement ,~8 Dividend No!~e Dividend Dividend Sold (part) Sold Ipart} Sold {part) 5/13/09 9/29/I)9 9/29/09 
198. DFA Small Cap Value Retirement #,~ Dividend 
t99. DFA Micro Cap Retirement t/;~ Dividend 
200. Dodge Cox Stock Retirement Dividend 
201. DFA Intl Small Cap Value Retirement Divitle~d 
202. 203. 204. First Eaglc Overseas Rctircmcm First Eagle Overseas Retirement Hotchkis Wiley Large Ciq~ Value Retirement Dividend Nonc Dividend Sold (part) Sold (part) 5/13/09 9129:09 
INamefPersn Reprting II. INVESTMENTS and TRUSTS .......... I,,. ....... lions (Includes those ,ffsp ....... depenant children: see pp. 34-60 aff!ling instructions.) NONE (No reportable income, as.~ets, tracesactions.) 
Descrip*ion otAs~ (including r~st iL~sets) Income duriug repoaing peri~ Gr~s value end repu~ling peri~ Transactions during re,fling ~ri~ 
~1) (2) tl) (2~ (1~ (2) ~3~ 
Place (X) alier eacl~ asset exemp~ from prior disclosure Amount (?~e {A-H) T~e (c,g., div. rent. int.) Value Code (J-P) Value Method (~ Type (e.g., buy, sell, redemption) Date Value Gain n~/dtF~ C~e C~e IdcntiW buyeti~ller 
(Q-W) ~ansaction) 
205. Ho~chkis Wiley Mid Cap Value Dividend 
206. Jan~ Fund Retirement Dividend Sold 5/13/09 
207. Janus Mid Cap Value Retirement Dividend Sold 5/I 3/09 
208. Janus Mid Cap Value Retirement None Sold 9129/09 
209. Janus Oversems Retirement Divklend Sold fpa~} 5/I 3/09 
210. Janus Overseas Retirement None Sold 9129/09 A~io Ialernational Equity Retirement Dividen~ 
212. Morgau Stanley Emerging Markets -Retiremettl Dividend Sold (part) 9/29/09 
213. Morgan Stanley lutcmational Equity Retirement Dividend 
214. Royce Opportunity Retirement Dividend Sold 9/29/{19 
{paa) 15. Royce Value Plus Retirement None Sold 9/29/09 
2t6. Schwab Money Market Relircmenl #,q Dividend 
217. Third Avenue International Value Dividend Sold 5/t3/09 ARetirement (part) 
218. Third Avenue htternatioual Value None Sold 9t29/09 
Retirement (part) 
219. Turner Core Growth Retirement D~vidcnd ~_0. Turner Small Cap Equity Retirement 
221. Westcore International Frontier- Retiremcm Dividend Sold 5/13/09 
(part) .... f~o. ~opor,i.~ 
VII. INVESTMENTS and TRUSTS -~, .......... t,,,., ........ .,~o,., Hncludes thox~ ....... dependent childr,,; NONE (No reporlahle ir~cotne, assets, tr~msactions.) 
.......... Description Ak~cls Income during Gross va~uc end Fransactions during rcpo~nfl pcri~ {is~lu~ng m~st ~s~) reporlmg ~ri~ repoz~ing 
Place (X) aRer each ussel ~mpt flora prior d~sclosur tl)Amount Code {A-II) t2) Type (c.g,. div.. rcnk hll.) ~t~ Value Ct~c O-P] (~) Value Method (~e 11 Type ~e.g., buy, sell, rede, np6o~a) (2) Da~ mn~d~~ ~3~ ~4} Value Gaia C~e Ct~e O-P) (A-H) (5) Identity b~ycr/scller (ifprwa~e 
Q-w) ~ansacfion} 
222. Westcore Intema,ional Frontier Reliremem None Sold 9/29/09 (par0 223. Westcore Mid Cap Value Retiremcnl Dividend 
224. 	Wcstcorc MI~O Growth Rc~ircmcnl Nnnc 225~ 
William Blair International Growth Dividend Sold 9/29/09 Retirement (paR) 
~26~ 	William Blair Large Cap Growth Dividend Retirement 
William Blair lntl Small Growth Dividend Retircmeut 
BlackRock Low Duration Retirement Dividend Buy 4/30/09 
BlackRock Low Durg~ion Retirement None Buy 5/13/09 (addl) 
BlackR~k Low Duration- Rctircmcnl Nonc Buy 9/29/09 (addl) 231. 	Melropolfl~ Wes~ To~a~ Re~um ~w~dend Buy 7/30/09 Retirement 
232. 	Me~opolitan West Total Relum-None Buy 9,29/09 Retirement (addl) 
~233. Equitable Variable Life Alliance Common 
None Buy 1./21/09St~k  addl 
Equitable Variable Life Alliance Common None Buy 4/17/09St~k (addl! 
Equitable Variable Life- Alliance Commo~ None Buy 7/I3/09St~k (add!) 
Eqoitablc ariable Lilh Alliance Common None Buy 10/16/09 Stock (addq) 
 Equitable Variable Life- Alliance 	None Buy t/21/09International (addl) 
23~. Equitable Variable Li~e Atliancc None Buy 4/17/09 hdema*iooal (addl) income Gain Codes: -SI .g~t tcs~ :.S! ,OIB S2.500 =$2.501 $5.000 =$5.001 5,fhqO ~$15,00~ $50,0Ofl 
Name Person Reporting Pratter, Gene 
VII. IN~STMENTS and TRUSTS ........... ~,~, ........ tions (Im-tudes those ,~p ........ dependem chffdren: seepp, 34-~0 ,~f!ling ~structions.) NONE (No reportable income, assets, transactions.) 
~scription A~Is{including t~st ;~ets~ [acomc du~IIg reposing period (~ro~s value cad re~rtin~ period Transactions {luring reposing pcfi~i 
Place {X) after each asset xemp~ from prior disclosure ~t) Am,o~mt Code ~A-8] (2) Type (e.g, div. rent. imA ~1) Value Code (J-P) ~2) Value Meth~ Code 1) Ty~ (e.g., buy, sell, redemption) (2) ~3~ ~4~ Date Value Gain nm~~ C~xle C~e (J-Pj (A-H) (5) Identity buyer/seller (if private 
(Q-W) t~nsaction) 
239. ~uit~le Variable Life Alliance International None Buy (addl) 7/13/09 
240. Equitable Variable Life -Alliance International None Buy (addl) 10i16109 
24t. Carlyle Real Estate LLP Dividend 
242. Wheeler Terrace LTD Dividend 
243. PNC Bank Accounts Dividend 
244, Nantucket Bank Account Dividend 
245, WescottNova None Distributed 9/30/09 Name Person Reporting 
IX. CERTIFICATION. certify that all information given above (including infnrmation pertaining spouse and minor dependent children, any) accurate, true, and complete the best kuowledge and belief, and that any information not reported ~vas withheld because met applicable statutoryprovisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions ofS U.S.C. app.  50! et. seq., U.S.C.  7353, and Judicial Conference regulation$~ 
Mail signed originx[ and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544